Case Studies: Standards: Governance, Best Practices and Ethics - 2015 Edition 試験
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Question No : 1
Which of the following does NOT relate to the Orange County case?
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Question No : 2
The financial intermediary services provided by Fannie Mae and Freddie Mac were designed to
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Question No : 3
The problems in the Orange County case can best be characterized as failures related to:
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Question No : 4
An Organization as a Whole must:
I. Provide an environment in which an Escalation Policy can be effective
II. Commit itself to actual enforcement of corporate governance policies
III. Provide ongoing education and training to all employees on the role of risk management and corporate governance in the organization
IV. Publish an external auditor's opinion that the corporation is in compliance with the Board's publicly stated Standards of Corporate Governance
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Question No : 5
According to the Group of 30 Report, option contracts:
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Question No : 6
What is (are) the lesson(s) of the Barings' failure?
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Question No : 7
The hedging strategy employed by MG Refining & Marketing has been called:
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Question No : 8
The "normal" credit loss profile of Washington Mutual was increased by which of the following?
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Question No : 9
Which is NOT part of the guidance on Professional Conduct in the PRMIA Standards of Best Practice, Conduct and Ethics (Code of Conduct)?
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Question No : 10
The Risk Management Infrastructure of an organization must:
I. To the extent possible, avoid silos of control and oversight
II. Have budgets set by the business unit leaders
III. Actively provide ongoing professional development for risk management staff and require them to be committed to standards of best practice, conduct and ethics in their work
IV. Provide general risk management and related corporate governance training for employees of the organization as a Whole
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Question No : 11
According to the Group of 30 Report, deriving aggregate potential credit exposure for a counterparty by adding up the potential exposure of multiple transactions:
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Question No : 12
Which of the following regarding Orange County is FALSE?
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Question No : 13
A risk manager finds that a client is engaged in a practice that looks like money laundering.
According to the PRMIA Standards of Best Practice, Conduct and Ethics (Code of Conduct), the risk manager should:
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Question No : 14
Select the one correct statement relative to Barings Bank.
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Question No : 15
Taisei Fire and Marine Insurance Co
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